Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$333,568,388,571
Number of Records: 
6,826
Note: 
The totals include only those entries matched to a parent company. The industry designation is the primary one for the parent's operations overall. The totals are adjusted to account for the fact that each parent's entries may include both agency records and settlement announcements for the same case; or else a penalty covering multiple locations may be listed in the individual records for each of the facilities. They are also adjusted to reflect cases in which federal and state or local agencies cooperated and issued separate announcements of the outcome. Duplicate or overlapping penalty amounts are marked with an asterisk in the individual records list below.

Top 10 Parent CompaniesTotal Penalty $Number of Records
Bank of America$82,896,776,051261
JPMorgan Chase$35,851,437,155191
Citigroup$25,535,002,360154
Wells Fargo$21,678,596,719218
Deutsche Bank$18,341,457,30276
UBS$16,853,736,33498
Goldman Sachs$16,381,931,83964
NatWest Group PLC$13,477,129,00031
BNP Paribas$12,147,863,95019
Credit Suisse$10,448,892,62645


Individual Penalty Records:

Click on the company or penalty amount for more information on each case. Click on the parent name to reach the summary page for that parent company.
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)
Companysort icon Parent Primary Offense Type Year Agency Penalty Amount
Stifel, Nicolaus & Company, Inc. Stifel Financial investor protection violation 2001 FINRA $225,000
Stifel, Nicolaus & Company, Incorporated Stifel Financial investor protection violation 2017 SEC $300,000
Stifel, Nicolaus & Company, Incorporated Stifel Financial investor protection violation 2009 MULTI-FIN $525,000
Stifel, Nicolaus & Company, Incorporated Stifel Financial investor protection violation 2020 FINRA $3,650,000
Stonegate Mortgage Corp. Home Point Capital consumer protection violation 2013 KY-FIN $5,000
Strong Capital Management Co. Wells Fargo investor protection violation 2004 MULTI-AG (*) $115,000,000
Strong Capital Management, Inc. Wells Fargo investor protection violation 2004 SEC $80,000,000
Strong Capital Management, Inc. Wells Fargo investor protection violation 2006 SEC $2,185,927
Student Loan Xpress, Inc. CIT consumer protection violation 2009 MULTI-AG $112,825,000
Student Loan Xpress, Inc. CIT consumer protection violation 2010 KY-AG $3,600,000
Student Loan Xpress, Inc. CIT consumer protection violation 2007 NY-AG $3,000,000
SUN LIFE ASSURANCE CO OF CANADA Sun Life Financial environmental violation 2005 MA-ENV $31,635
Sun Life Assurance Company of Canada (U.S.) Sun Life Financial wage and hour violation 2009 WHD $6,366
Sun Life Assurance Company of Canada (U.S.) Sun Life Financial wage and hour violation 2009 WHD $25,744
Sun LIfe Assurance Company of Canada et al. Sun Life Financial insurance violation 2004 IN-INS $125,000
Sun Life Insurance Company Sun Life Financial insurance violation 2014 MULTI-AG $3,200,000
Sun Life Insurance Company of Canada Sun Life Financial insurance violation 2009 MN-FIN $7,500
Sun National Bank OceanFirst Financial banking violation 2016 OCC $25,000
SUNAMERICA SECURITIES, INC. American International Group investor protection violation 2006 VA-SEC $10,000
SunAmerica Securities, Inc. American International Group investor protection violation 2009 FINRA $300,000
SunAmerica Securities, Inc. American International Group investor protection violation 2005 FINRA $2,500,000
SunAmerica Securities, Inc. American International Group investor protection violation 2004 FINRA $100,000
SunTrust Bank Truist Financial economic sanction violation 2005 OFAC $40,423
SunTrust Bank Truist Financial economic sanction violation 2005 OFAC $30,800
SunTrust Bank Truist Financial employment discrimination 2014 EEOC $300,000
SunTrust Bank Truist Financial banking violation 2017 FED $1,501,000
SunTrust Bank Truist Financial banking violation 2005 WI-AG $10,107
SunTrust Bank, Inc. Truist Financial wage and hour violation 2006 WHD $350,875
SunTrust Banks Truist Financial investor protection violation 2017 SEC $1,100,000
SunTrust Banks, Inc. Truist Financial banking violation 2014 FED $160,000,000
SunTrust Banks, Inc. Truist Financial benefit plan administrator violation 2018 private lawsuit-federal $4,750,000
SunTrust Capital Markets Inc. Truist Financial investor protection violation 2006 SEC $125,000
SunTrust Capital Markets, Inc. Truist Financial investor protection violation 2005 FINRA $100,000
SunTrust Investment Services, Inc. Truist Financial investor protection violation 2010 FINRA $1,440,000
SunTrust Investment Services, Inc. Truist Financial investor protection violation 2008 FINRA $700,000
SunTrust Investment Services, Inc. Truist Financial investor protection violation 2008 FINRA $300,000
SunTrust Mortgage Truist Financial wage and hour violation 2012 private lawsuit-federal $2,400,000
SunTrust Mortgage Inc. Truist Financial banking violation 2012 DOJ_RIGHTS $21,000,000
SunTrust Mortgage Inc. Truist Financial mortgage abuses 2014 DOJ_CIVIL $320,000,000
SunTrust Mortgage Inc. Truist Financial False Claims Act and related 2014 DOJ_CIVIL $418,000,000
SunTrust Mortgage Inc. Truist Financial wage and hour violation 2012 WHD $51,518
SunTrust Mortgage Inc. Truist Financial mortgage abuses 2014 MULTI-AG (*) $40,000,000
SunTrust Mortgage, Inc. Truist Financial consumer protection violation 2014 CFPB $550,000,000
SunTrust Mortgage, Inc. Truist Financial toxic securities abuses 2013 FHFA $65,000,000
SunTrust Mortgage, Inc. Truist Financial discriminatory practices (non-employment) 2013 HUD $36,000
SunTrust Mortgage, Inc. Truist Financial consumer protection violation 2017 AR-SEC $13,000
SunTrust Mortgage, Inc. Truist Financial mortgage abuses 2016 CA-DFPI $50,000
SunTrust Mortgage, Inc. Truist Financial consumer protection violation 2019 CA-DFPI $349,015
SunTrust Robinson Humphrey, Inc. Truist Financial investor protection violation 2016 FINRA $1,500,000
SunTrust Robinson Humphrey, Inc. Truist Financial investor protection violation 2011 FINRA $5,000,000
SunTrust Robinson Humphrey, Inc. Truist Financial investor protection violation 2008 FINRA $1,650,000
Swineford National Bank Fulton Financial banking violation 2013 OCC $33,880
Swiss Life Holding AG et al. Swiss Life Group tax violations 2021 DOJ_TAX $77,374,337
Swiss Re Financial Products Corporation Swiss Re investor protection violation 2007 SEC $95,000
Synovus Bank Synovus Financial banking violation 2013 FDIC $135,050
T.H.E. INSURANCE COMPANY AXA insurance violation 2001 FL-OFR $15,000
T.H.E. Insurance Company AXA insurance violation 2009 PA-INS $5,000
T.H.E. Insurance Company AXA insurance violation 2015 TX-INS $11,500
Taylor Bean & Whitaker Mortgage Corp. Taylor, Bean & Whitaker consumer protection violation 2008 KY-FIN $75,000
Taylor, Bean & Whitaker Corp. Taylor, Bean & Whitaker wage and hour violation 2009 WA-DLI $11,268
Taylor, Bean & Whitaker Mortgage Corp. Taylor, Bean & Whitaker consumer protection violation 2009 IL-BKG $20,000
Taylor, Bean & Whitaker Mortgage Corp. Taylor, Bean & Whitaker mortgage abuses 2009 MULTI-FIN $9,000,000
TCF National Bank Huntington Bancshares banking violation 2016 OCC $56,500
TCF National Bank Huntington Bancshares banking violation 2013 OCC $10,000,000
TCF National Bank Huntington Bancshares consumer protection violation 2018 CFPB $28,000,000
TCF National Bank Huntington Bancshares banking violation 2018 OCC $3,000,000
TD Ameritrade Charles Schwab Corp. investor protection violation 2014 SEC $100,800
TD Ameritrade Charles Schwab Corp. wage and hour violation 2009 private lawsuit-federal $2,500,000
TD Ameritrade Clearing, Inc. Charles Schwab Corp. investor protection violation 2013 FINRA $1,150,000
TD Ameritrade Inc. Charles Schwab Corp. investor protection violation 2011 SEC $10,000,000
TD Ameritrade Inc. Charles Schwab Corp. investor protection violation 2015 TX-SEC $400,000
TD Ameritrade, Inc. Charles Schwab Corp. investor protection violation 2018 SEC $500,000
TD Ameritrade, Inc. Charles Schwab Corp. investor protection violation 2009 MULTI-AG $456,000,000
TD Ameritrade, Inc. Charles Schwab Corp. investor protection violation 2015 MA-AG $160,000
TD Bank Toronto-Dominion Bank investor protection violation 2013 SEC $15,000,000
TD Bank Toronto-Dominion Bank wage and hour violation 2015 private lawsuit-federal $9,900,000
TD Bank Toronto-Dominion Bank wage and hour violation 2014 private lawsuit-federal $6,000,000
TD Bank Toronto-Dominion Bank wage and hour violation 2013 private lawsuit-federal $975,000
TD Bank Toronto-Dominion Bank wage and hour violation 2010 private lawsuit-federal $375,000
TD Bank Toronto-Dominion Bank privacy violation 2014 MA-AG $625,000
TD Bank, N.A. Toronto-Dominion Bank privacy violation 2014 MULTI-AG $850,000
TD Bank, N.A. Toronto-Dominion Bank consumer protection violation 2020 CFPB $122,000,000
TD Bank, National Association Toronto-Dominion Bank banking violation 2013 OCC $37,500,000
TD Banknorth Toronto-Dominion Bank labor relations violation 2006 NLRB $5,000
TD Options LLC Toronto-Dominion Bank investor protection violation 2009 SEC $1,000,000
TD Securities (USA) LLC Toronto-Dominion Bank investor protection violation 2016 SEC $500,000
TD Waterhouse Investor Services, Inc. Toronto-Dominion Bank investor protection violation 2004 SEC $2,000,000
TD Waterhouse Investor Services, Inc. Toronto-Dominion Bank wage and hour violation 2005 WHD $55,208
TD Waterhouse Investor Services, Inc. Toronto-Dominion Bank investor protection violation 2004 FINRA $150,000
Teachers Insurance & Annuity Assoc of America TIAA wage and hour violation 2017 WHD $9,678
Teachers Insurance and Annuity Association TIAA employment discrimination 2020 OFCCP $1,500,000
Teachers Insurance and Annuity Insurance Association of America TIAA benefit plan administrator violation 2017 private lawsuit-federal $5,000,000
Teachers Insurance Annuity Association TIAA wage and hour violation 2007 WHD $1,171,404
The Bank of New York Bank of New York Mellon economic sanction violation 2005 OFAC $5,844
The Bank of New York Bank of New York Mellon anti-money-laundering deficiencies 2005 USAO $38,000,000
The Bank Of New York Bank of New York Mellon investor protection violation 2007 SEC $750,000
THE BANK OF NEW YORK MELLON Bank of New York Mellon banking violation 2012 FED $6,000,000
The Bank of Nova Scotia Scotiabank investor protection violation 2020 CFTC $50,000,000
The Bank of Nova Scotia Scotiabank investor protection violation 2020 CFTC $77,400,000
The BISYS Group Citigroup accounting fraud or deficiencies 2007 SEC $25,000,000
THE CAPITAL GROUP COMPANIES INC Capital Group workplace safety or health violation 2005 OSHA $5,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)